RISK MANAGEMENT
FORMS AND CHECKLISTS
FOR LAW FIRMS

Sample Basic Engagement Letter 

Written by Mark Bassingthwaighte, Esq.

[DATE]

[CLIENT NAME]

[CLIENT ADDRESS]

Re: [MATTER DESCRIPTION / CASE NAME]

Dear [CLIENT NAME],

Thank you for choosing [FIRM NAME] to represent you. We appreciate the trust you are placing in us, and we take that responsibility seriously. We look forward to working with you.

The purpose of this letter is to confirm the terms of our attorney-client relationship so that we are both on the same page from the start. Please read this letter carefully. If you have any questions, no matter how small, please do not hesitate to ask before signing. We want you to feel comfortable and fully informed.

1. Identification of the Client

For purposes of this Agreement, we represent only the following person(s) or entity(ies): [Insert Client Name(s) Exactly as Intended].

Our duties of loyalty, confidentiality, and advocacy apply only to you, the client identified above. No other individuals or entities are clients of [FIRM NAME] unless we agree in writing to add them. This includes, without limitation:

• Family members, friends, or business partners who may be involved in the facts of the matter

• Owners, officers, employees, or affiliates of a business client

• Related companies, subsidiaries, parent companies, or commonly owned entities

• Any person who helps pay our fees or expenses
  
  

If individuals or entities other than you, require legal advice or representation, they must enter into a separate written engagement agreement with us. We may need to communicate with non‑clients when helpful to the representation, but such communication does not create an attorney‑client relationship.

You understand that we will take direction only from you (or your authorized representative, if designated in writing), even if someone else is contributing to the payment of your fees.

2. Scope of Representation

We are being engaged to provide the following legal services on your behalf:

[DESCRIPTION OF LEGAL SERVICES]

What is not included. Unless expressly included above, our representation does not include:

• Appeals or post-judgment proceedings

• Related or collateral legal matters not described above

• Tax advice, regulatory filings, or administrative proceedings

• Representation in other jurisdictions

• Future updates after completion

• Monitoring deadlines after our engagement ends

• [Other Exclusions, If Any]
  

Any work outside the scope described above will require a separate written agreement between us before we begin that work

3. Our Responsibilities to You

We commit to providing you with competent, diligent legal representation. Specifically, we will:

• Communicate. We will keep you reasonably informed about the status of your matter and respond to your questions in a timely manner.

• Protect your confidences. Everything you share with us is protected by the attorney-client privilege and our duty of confidentiality, except as required or permitted by law or the rules of professional conduct.

• Act in your best interest. We will exercise our professional judgment to pursue your goals and protect your rights to the best of our ability.

• Explain your options. We will keep you informed of important developments and explain your choices so you can make well-informed decisions.

4. Your Responsibilities

A successful attorney-client relationship is a partnership. To help us represent you effectively, we ask that you:

• Be truthful and complete. Please share all relevant facts and documents with us, even those you think may be unfavorable. We cannot protect you from surprises if we do not know about them.

• Preserve all potentially relevant paper documents, emails, text messages, metadata, electronically stored information, social media content, recordings, photographs, and physical evidence, and do not delete, alter, overwrite, or discard anything that may relate to the matter.

• Provide documents promptly. When we request records, correspondence, or other materials, please provide them as quickly as possible. Delays can affect deadlines and outcomes.

• Stay in touch. Please notify us immediately if your address, phone number, email, or other contact information changes.

• Review and respond. When we send you documents for review or ask you to make a decision, please respond in a timely manner. Court and filing deadlines do not wait.

• Cooperate. Please attend scheduled meetings, hearings, and depositions, and follow through on tasks we discuss together.

5. Fees and Billing

Our fees for this matter will be calculated as follows. Please initial next to the fee arrangement that applies to your engagement:

_______ (Client Initials) Option A - Hourly Rate

Professional Rate

Attorney $______/Hr.

Paralegal $_____/Hr.

Time is billed in increments of one-tenth of an hour (six minutes). We will provide itemized statements showing the work performed, the time spent, and the team member who performed it.

_______ (Client Initials) Option B - Flat Fee

The total fee for [DESCRIPTION OF FLAT-FEE SERVICES] will be a flat fee of [FLAT FEE AMOUNT]. This fee covers only the services specifically described. Any additional work beyond that scope will be billed separately at our standard hourly rates or under a new flat-fee agreement.

_______ (Client Initials) Option C - Contingency Fee

Our fee will be [CONTINGENCY PERCENTAGE]% of the gross amount recovered on your behalf, whether by settlement, verdict, or other resolution. If there is no recovery, you will not owe any attorney fees.

Important: Regardless of the outcome, you remain responsible for all costs and expenses incurred in your matter (see "Costs and Expenses" below). Costs are separate from attorney fees.

_______ (Client Initials) Option D – Subscription / Recurring Plan

Instead of billing by the hour or charging a one-time flat fee, we offer an ongoing subscription plan. For a fixed recurring fee, you receive a defined set of legal services each billing period. This structure gives you predictable costs and priority access to our team with no surprises on your monthly statement.

Plan Details:

• Monthly Fee: [MONTHLY SUBSCRIPTION FEE] per month, due on the [BILLING DAY, e.g., 1st] of each month

• Billing Cycle: [MONTHLY / QUARTERLY / ANNUALLY]

• Services Included: [DESCRIPTION OF COVERED SERVICES, e.g., up to X hours of general counsel advice (or monthly consultation), contract review up to X pages, standard demand-letter drafting, routine correspondence]

• Service Cap: Up to [NUMBER OF HOURS OR TASKS] per billing cycle. Usage beyond this cap will be billed at [OVERAGE HOURLY RATE] per hour.
  
  

What's Not Included:

Litigation, court appearances, regulatory proceedings, and any work outside the scope described above are not covered by this subscription and will be handled under a separate fee arrangement (see Options A, B, or C above, as applicable).

Term and Renewal:

This subscription begins on [START DATE] and renews automatically every [RENEWAL PERIOD, e.g., month / quarter / year] unless either party provides written notice of cancellation at least [NOTICE PERIOD, e.g., 30] days before the next renewal date. You may cancel at any time. You will not be billed for any period after cancellation takes effect, and any prepaid but unused portion of the current period will be refunded on a pro-rata basis.

Pausing or Adjusting the Plan:

If your legal needs change, we are happy to adjust the scope or level of your subscription. Any changes will be confirmed in writing. You may also request a temporary pause of up to [MAX PAUSE PERIOD, e.g., 60] days per year; paused months will not be billed.

Payment Method:

Subscription fees will be charged to [PAYMENT METHOD — e.g., credit card, ACH bank draft, or invoiced for manual payment]. By signing this letter, you authorize recurring charges in the amount stated above until the subscription is cancelled or modified in writing.

Retainer

You agree to pay an initial retainer of [RETAINER AMOUNT] upon signing this letter. This retainer will be deposited into our client trust account and will be applied to fees and costs as they are incurred. We will provide you with an accounting of how the retainer is used. If the retainer is depleted, we may ask you to replenish it. Any unused portion will be refunded to you at the conclusion of the matter.

Billing Cycle and Payment Terms

We will send you invoices on a [MONTHLY / QUARTERLY] basis. Payment is due within [NUMBER] days of the invoice date.

Costs and Expenses

In addition to attorney fees, you are responsible for costs and expenses related to your matter. These may include, but are not limited to:

• Court filing fees and service-of-process charges

• Court reporter and transcript fees

• Expert witness fees and consultant costs

• Travel expenses (mileage, parking, lodging, meals)

• Copying, postage, and delivery charges

• E-discovery vendors

• Investigators

• Records retrieval

• Mediation and arbitration fees
  
  

We will inform you before incurring any unusually large expense and will seek your approval for costs above [THRESHOLD AMOUNT, e.g., $500].

6. Communication

Good communication is the foundation of a strong attorney-client relationship. Here is how we will stay connected:

• Preferred method: [EMAIL / PHONE / CLIENT PORTAL / VIDEO CONFERENCE]

• Response time: We will make every effort to respond to your messages within [TIMEFRAME, e.g., 2 business days]. If your matter is urgent, please let us know when you reach out.

7. File Retention and Destruction

After your matter concludes, we will retain your file for a period of [NUMBER] years. After that retention period, we may destroy the file without further notice to you.

You may request a copy of your file at any time during the representation or during the retention period. We may charge a reasonable fee for copying and delivery costs.

Certain original documents (such as original wills, deeds, or other instruments) will be returned to you at the conclusion of the matter unless you instruct us to retain them.

8. Termination of Representation

Either of us may end this relationship, subject to the following:

• Your right to terminate. You always have the right to discharge us at any time, for any reason, by providing written notice. You will remain responsible for fees and costs incurred up to the date of termination.

• Our right to withdraw. We may withdraw from the representation for appropriate reasons, including but not limited to nonpayment of fees, failure to cooperate, a conflict of interest, or if continued representation would require us to act in a way that violates our ethical obligations.

• Court permission. If your matter is in active litigation, we may need the court's permission before we can formally withdraw. We will comply with all applicable court rules.

• Final accounting. Upon termination, we will issue a final invoice for all outstanding fees and costs. Any unused retainer will be promptly refunded to you.

• Your file. Upon termination, we will make your file available to you or to your new attorney upon request.

9. No Guarantee of Outcome

We want to be straightforward with you: no attorney can guarantee a specific result. The legal system involves many factors beyond anyone's control including the decisions of judges, juries, opposing parties, and government agencies.

We will provide you with our honest professional assessment of your matter, and we will work diligently to achieve the best possible outcome. However, nothing in this letter or in any conversation we have had should be understood as a promise or guarantee of any particular result. Any comments about possible results are opinions only, based on current information.

10. End of Engagement

Representation ends when the earliest of the following occurs:

• Agreed services are completed

• We send a closing letter or email

• You discharge us

• We withdraw

• Final judgment/order is entered and no further services are included

After termination, we do not monitor deadlines, appeals, renewals, filing dates, statutes, or other obligations unless we agree in writing to continue.

11. Entire Agreement

This letter constitutes the entire agreement between us regarding the terms of our attorney-client relationship regarding the matter described above. It supersedes any prior oral or written understandings.

Any modifications to this agreement must be made in writing and signed by both of us to be effective.

Acknowledgment and Signatures

By signing below, you acknowledge that you have read, understand, and agree to the terms of this engagement letter. You have had the opportunity to ask questions, and you are entering into this agreement voluntarily.

__________________________________________ Date: __________________

[CLIENT NAME]

__________________________________________ Date: __________________

[ATTORNEY NAME]

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Optional Provisions to Consider Including in a Basic Engagement Letter

Written by Mark Bassingthwaighte, Esq.

1. Social Media and Online Activity Warning:
During the course of our representation, we strongly encourage you to limit your use of social media platforms (such as Facebook, Instagram, X/Twitter, TikTok, Snapchat, LinkedIn, Reddit, blogs, discussion boards, dating apps, and similar services). Content posted online is rarely private, may be discoverable in litigation, and can be used in ways that may harm your legal interests even if later deleted.

Accordingly, unless we specifically advise otherwise, you should avoid posting about the facts, parties, claims, injuries, finances, travel, relationships, employment, or any other subject that could relate directly or indirectly to your matter. You should also avoid asking others to post about you or your matter, tagging you, or sharing photos, videos, location data, or comments concerning you.

2. Do Not Delete or Alter Online Content Warning:

Do not delete, alter, hide, deactivate, or destroy existing social media content, messages, accounts, texts, emails, photographs, videos, or other electronically stored information that may be relevant to your matter. Preservation of potentially relevant evidence is important, and improper deletion or alteration may result in sanctions, adverse inferences, or other legal consequences. If you have concerns about existing content, discuss them with us before taking any action.

3. Use of Devices and Email Accounts Warning:

To protect confidentiality, do not communicate with us using:

• any device owned or monitored by your employer,

• any shared or publicly accessible computer or device, or

• any email account or text messaging app that others can access.

You should communicate with us only through a private, password‑protected account or app that you access exclusively from a secure personal device. Employer‑provided devices and accounts are often subject to monitoring, and communications sent through them may not be considered private.

4. Succession Planning/Backup Attorney Notice:

While I strive to deliver excellent legal services to all of my clients, I also have an ethical obligation to protect your interests during any extended absences, such as a vacation, or in the event of my unexpected death or disability. To accomplish this, I have named [Insert name] as my backup attorney who will be available during any extended absences or will step in to assist in the winding up of my practice should that ever prove necessary. I will personally provide you advance notice of any planned absences, and my office staff or backup attorney will contact you with information on how to proceed should any unexpected event ever occur.

5. Fee Dispute Resolution Notice:

We work hard to avoid misunderstandings about fees. However, if a fee dispute does arise, you agree to resolve that dispute through binding arbitration with [Insert name of local bar’s fee dispute resolution program].

By signing this agreement, you acknowledge that you could otherwise bring a fee dispute in court, but you are choosing to waive that option and use binding arbitration instead. A binding arbitration decision, whether in your favor or ours, is final, not subject to appeal, and has the same force and effect as a court judgment.

Arbitrations are conducted in [List locality]. The bar association selects the arbitration panel from trained attorney and public volunteers who have agreed to hear fee disputes. There is no cost for the panelists.

If you have any questions or concerns about agreeing to binding arbitration for fee disputes, we encourage you to seek independent legal advice before signing.

6. Sample Multiple Client Conflict Waiver Notice:

You have asked us to represent you, [Client A] and [Client B], jointly in connection with [Full description of the scope of representation].

Based on the information currently available, we have not identified a conflict of interest that would prevent us from undertaking this joint representation. However, because you are separate clients, ethical rules require us to explain the implications of joint representation and obtain your informed consent.

A) Nature of Joint Representation

Although your interests are presently aligned, differences may arise during the course of our representation. By agreeing to joint representation, you acknowledge that:

• We will represent both of you equally and cannot advocate for one of you against the other in this matter,

• We cannot provide advice to one of you that is adverse to the interests of the other, and

• If a disagreement arises between you, our ability to continue representing both of you may be limited or eliminated.

B) Potential Conflicts

Potential conflicts that could arise include, but are not limited to:

[Describe, with specificity, reasonably foreseeable areas of divergence and risk]

These risks may affect our ability to recommend or pursue certain courses of action on behalf of one or both of you.

C) Confidentiality and Information Sharing

In a joint representation, information provided by either of you that is relevant to the representation will generally be shared with the other. Accordingly:

• We will not keep relevant information from one client that is material to the representation of the other.

• Communications between you and us remain privileged as to third parties, but not as between the two of you.

If either of you wish to maintain separate confidences or receive independent advice, you should retain separate counsel.

D) Withdrawal if Conflicts Arise

It is possible that circumstances may arise in which our continued joint representation would adversely affect one of you. Should such a situation occur, we would be required to withdraw from representing both of you, and each of you would need to retain separate, independent counsel. In light of this possibility, we recommend that you consider obtaining independent legal advice to determine whether consenting to joint representation is in your best interests. Whether you choose to do so is entirely your decision.

7. Deepfake and Digital Evidence Risk Notice

A) Authenticity of Digital Evidence.

Modern technology allows audio, video, image, and document files to be altered or fabricated in ways that can be extremely difficult to detect. These “deepfakes” and other forms of digital manipulation can create false or misleading evidence. We will take reasonable steps to assess the authenticity of digital materials relevant to your matter, but no law firm can guarantee that all such materials, whether provided by you, third parties, or opposing counsel, are genuine or unaltered.

B) Client Responsibility for Preserving and Authenticating Evidence.

You agree to cooperate with us in preserving original evidence and documenting its source and chain of custody. This includes maintaining original files (including metadata) for any photos, videos, documents, or electronic communications you provide to us. If questions later arise regarding the authenticity of your materials, additional work, such as obtaining expert analysis, affidavits, or forensic review, may be necessary to verify that the evidence has not been manipulated.

C) Costs of Challenging or Authenticating Evidence.

In the event that opposing parties submit potentially fabricated or altered evidence, or if the authenticity of your evidence is challenged, we may recommend retaining qualified forensic or technical experts to analyze, verify, or refute such materials. The costs associated with such expert services, as well as related discovery, motion practice, or evidentiary hearings, are not included in our standard fees and will be billed as additional expenses. We will consult with you before incurring such costs and will make reasonable efforts to provide estimates when possible.

D) Limitations of the Firm’s Role.

We are not digital forensics experts and cannot independently verify the authenticity of all digital evidence. Our role is to identify potential authenticity issues, advise you regarding legal implications, and assist in obtaining expert assistance where warranted. The ultimate responsibility for the integrity of evidence provided to us rests with you.

E) Evolving Risks.

The technologies enabling digital manipulation are advancing rapidly. We may periodically update our practices or recommendations to address new risks as they arise. You acknowledge that emerging “deepfake” technologies may impact litigation strategy, discovery costs, and evidentiary decisions, and that these risks are inherent in the current digital environment.

8. Anti‑Fraud / Payment Instructions and Cybersecurity Notice

Fraudsters frequently target law firms and clients with fake emails, spoofed messages, and altered payment instructions. For your protection, please treat any message involving money, wiring instructions, account changes, or urgent requests for confidential information with caution.

Our payment instructions will not change during your matter unless we confirm the change with you in writing and by phone. If you receive any message suggesting different instructions, do not act on it. Instead, call our office using a phone number you already know or have independently verified.

Before sending any wire transfer or other payment, you agree to confirm the instructions verbally with us or through another secure method we designate. We may also require identity verification before releasing funds.

We are not responsible for losses caused by third‑party fraud, spoofing, or compromised client accounts or devices if these verification steps are not followed, except where such responsibility cannot be limited by law.

Please notify us immediately if your contact information changes, your email or device is compromised, or you receive any suspicious communication relating to your matter.

9. Use of Artificial Intelligence Tools and Non-Attorney Legal Information Notice:

Do not rely on AI-generated legal content for decisions about your matter. Generative AI tools, including chatbots, legal document generators, and AI assistants, can produce content that appears authoritative but may be inaccurate, incomplete, outdated, or entirely fabricated. These systems cannot provide legal advice and do not account for your specific circumstances, jurisdiction, or goals.

Risks of using AI tools for legal matters include:

• Hallucinated content — AI systems may generate fictitious case citations, statutes, or legal principles that do not exist

• Jurisdictional errors — Legal rules vary significantly by state, county, and court; AI tools frequently apply incorrect or inapplicable law

• Outdated information — AI training data has cut off dates and may not reflect recent legislative changes, court decisions, or procedural updates

• Missing context — These tools cannot assess the strategic, factual, or risk considerations unique to your situation

• Confidentiality concerns — Entering details about your matter into AI platforms may waive attorney-client privilege or expose sensitive information, depending on the platform's data retention and usage policies

If you use AI tools to research legal issues, draft documents, or prepare materials related to your matter, please disclose this to us. We need to review any AI-generated content before it is filed, sent, or relied upon, as it may contain errors that could harm your case or create legal liability.

Our commitment to you: All legal advice, strategy, and work product from this firm will come directly from our attorneys, who are responsible for understanding your matter and exercising professional judgment on your behalf. If you encounter information, whether from AI systems, websites, or other non-attorney sources, that seems relevant to your case, please share it with us for evaluation rather than acting on it independently.

We are not responsible for consequences arising from:

• Your reliance on AI-generated legal content or automated legal tools,

• Decisions made based on non-attorney sources of legal information, and

• Confidentiality issues resulting from your use of third-party AI platforms.
  
  

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Sample File Closing Letter

Written by Mark Bassingthwaighte, Esq.

[Date]
[Client Name]
[Client Mailing Address]
[City, State, Zip]

Re: [Matter Description / File Number]

Dear [Client Name]:

Thank you for the opportunity to represent you. This letter confirms that our work on the above‑referenced matter is complete and that our representation has concluded. We will not be taking any further action on your behalf in connection with this matter.

As part of closing our file, we are returning your original documents. These materials belong to you, and we encourage you to keep them in a safe place for your records.

Consistent with our standard practice, we will retain a copy of your closed file for [number of years] from the date of this letter. After that time, the file will be destroyed unless you instruct us otherwise. If you would prefer that we return the file to you instead of destroying it at the end of this retention period, please notify us in writing within thirty (30) days so we can make appropriate arrangements. You will be responsible for keeping us informed of any changes to your contact information, so we know how to reach you.

Although our representation has concluded, there may be ongoing responsibilities or follow‑up actions that remain your obligation. Please review the following carefully:

[Insert all client follow‑up items here. Outline everything the client must yet do as well as any legal ramifications if they fail to follow through. Examples of items to discuss include but are not limited to:

With business formations - You are responsible for all future state regulatory filings and any local, state, or federal tax filings unless we have agreed in writing to handle those tasks. We recommend consulting legal and/or tax professionals regarding these future obligations.

With litigation - You may have the right to appeal. Appeals are subject to strict deadlines, and we are not handling any appeal unless we agree to do so in writing. Also understand that the enforcement or collection of any judgment is not included in our representation.

With estate planning - You should review your estate plan every few years, or sooner if you experience a major life change, to ensure it continues to reflect your wishes and current law. We are not responsible for monitoring changes in the law or your personal circumstances after the conclusion of this engagement.

With transactional or business matters - Please remember that any ongoing filings, renewals, or compliance requirements are your responsibility unless we agree otherwise in writing. We recommend consulting legal and/or tax professionals regarding future obligations.]

Failure to complete the above actions or meet applicable deadlines may adversely affect your rights. If you have any questions or if new issues arise, we encourage you to seek legal advice promptly.

We take pride in providing a high level of service, and we hope your experience reflected that commitment. If you have feedback about your experience, we welcome it, as it helps us continue to improve the services we provide.

Thank you again for giving us the opportunity to work with you. We appreciated the trust you placed in us, and we truly enjoyed assisting you. I hope you will allow us the privilege of representing you again in the future should the need ever arise.

Sincerely,

_______________________________

Enclosures List:

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

How to Write a Closing-Your-Practice Letter

Written by Mark Bassingthwaighte, Esq.

Occasionally a lawyer will reach out to ask what should be included in a letter notifying active clients, whose matters cannot be completed in time, that the lawyer is closing her practice. Here’s the guidance I typically share.

Key Information Every Closing‑Your‑Practice Letter Should Include

Ordinarily, these letters should:

• Inform clients of any relevant deadlines or time‑sensitive issues

• Explain how and where they can obtain their file

• Advise them to hire a new attorney as soon as possible

• Clearly outline the current status of their matter

• Identify what still needs to be done

• Explain the legal consequences of failing to follow through

It’s critically important to ensure clients are fully informed about what is happening and what steps they must take next.

Additional Best Practices for Client Notification Letters

After covering the essentials, I also recommend:

• Offering to help clients find a new attorney by providing a few names or the number for a local lawyer‑referral service

• Including your file‑retention policy

• Providing post‑closure contact information in case clients need their file later, and

• Sending a follow‑up letter with a full accounting of trust funds and any outstanding fees.

These steps help ensure a smooth transition and reduce the risk of misunderstandings or complaints.

Sample Closing‑Your‑Practice Letter Template

Below is sample language you can adapt if you ever need to write your own closing‑the‑practice letter.

{Date}

Re: {Identify the specific matter}

Dear {Client Name},

Due to {Identify the reason, if appropriate}, I will be closing my law practice effective {Date}. As a result, my representation of you will conclude on that date. Because I will be unable to complete your matter before leaving the practice of law, I recommend that you immediately retain another lawyer who can see your matter through completion.

While you are free to select any lawyer you choose, I would be happy to provide you with a few names of local attorneys who practice in the relevant area of law. Our State Bar Association also operates a lawyer‑referral service. If you wish to contact them, their number is {Insert number}.

In light of {Insert the current status of the matter, including any deadlines or critical information}, it is imperative that you hire a new lawyer without delay. Given that {Set forth what still needs to be done}, failure to do so could result in {State the legal ramifications}. Once you have retained new counsel, please provide me with written authorization to transfer your file to your new lawyer. If you prefer, you may pick up your file from my office and deliver it personally.

I {or insert the name of the lawyer or firm who will} will continue to store my copy of your closed file for {List period} years. After that time, I {or name of lawyer or firm} will destroy my copy unless you notify me in writing within the next 30 days that you do not wish it to be destroyed. If I receive such notice, I will attempt to make alternative arrangements that better meet your needs. If you ever need a copy of your closed file before it is destroyed, you may reach me {or name of lawyer or firm storing the file} at {Insert number}.

Within the next {Number} weeks, I will provide you with a full accounting of any trust‑account funds still in my possession, as well as a statement of any outstanding fees. You may continue to reach me at my current office address and phone number until {Date}. After that time, my contact information will be: {List name, address, phone, and/or email}.

It has been a pleasure to be of service to you. Please feel free to contact me if you have any additional questions or concerns.

Sincerely,

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Two Sample Termination Letters

Written by Mark Bassingthwaighte, Esq.

Letter 1 - Withdrawal / Termination for Nonpayment of Fees

[Date]

[Client Name]
[Client Address]

Re: Termination of Representation – Outstanding Fees
Matter: [Matter Name / File Number]

Dear [Client Name]:

During the past [number] months, our firm has represented you in connection with the above matter. We appreciate the opportunity to have served as your counsel.

As reflected in prior invoices and communications, your account is now substantially past due. To date, you have paid approximately $[amount] in fees and costs. However, no payment has been received since [date], and the current outstanding balance is approximately $[amount].

Under the terms of our engagement agreement, timely payment of fees and expenses is a condition of our continued representation. Although we have continued to work on your matter while the balance remained unpaid, we are no longer able to continue representation under these circumstances. Thus, this letter confirms that effective [date], our firm will no longer represent you in connection with [describe matter].

Litigation Matters (Optional Clause)

Because we are currently counsel of record, we will be filing a motion or notice to withdraw. Until withdrawal is approved, our role will be limited to actions reasonably necessary to protect your interests and comply with court obligations.

There is still time for you to retain new counsel without jeopardizing your rights or upcoming deadlines, and we strongly encourage you to do so promptly. We will cooperate fully with your new attorney and will provide any required materials to support a smooth transition.

File and Property

Upon your written direction, we will make your file available to you or to successor counsel in accordance with applicable law and our file policies. Please let us know where you would like the file to be sent. Original documents or property belonging to you in our possession will be returned upon request or as otherwise required.

Future Communications

After the effective termination date, we will have no further responsibility to advise you, monitor deadlines, appear on your behalf, or take action in this matter unless we later agree in writing to do so.

We regret that this step has become necessary and wish you the best moving forward.

Sincerely,

______________________________________

[Attorney Name]
[Law Firm Name]

Letter 2 - General Withdrawal / Breakdown in Attorney-Client Relationship

[Date]

[Client Name]
[Client Address]

Re: Termination of Representation
Matter: [Matter Name / File Number]

Dear [Client Name]:

We appreciate the opportunity to have worked with you. However, after careful consideration, we have determined that continued representation is no longer appropriate, and it is in the best interests of all concerned that the attorney-client relationship conclude at this time.

Thus, this letter confirms that effective [date], our firm will no longer represent you in connection with [describe matter].

Retain New Counsel Promptly

We strongly encourage you to promptly retain other counsel to protect your interests. Important deadlines, hearings, filing requirements, statutes of limitation, or other time-sensitive matters may apply. Please do not delay in seeking replacement counsel.

Optional Litigation Clause:

If a motion or notice of withdrawal must be filed, we will take the necessary procedural steps. Until withdrawal becomes effective under applicable rules, our representation will be limited to reasonably necessary protective actions.

File Transfer / Property

Upon your written authorization, we will cooperate with successor counsel and provide the file materials to which you are entitled, including original documents and other appropriate materials, consistent with applicable law and firm policy. Please advise us where you would like the file to be sent.

Final Administrative Matters

You may receive a final statement for any unpaid fees or costs, or a refund of any unapplied trust funds, as appropriate.

No Ongoing Responsibility After Termination

After termination becomes effective, we will have no further duty to advise you, monitor deadlines, appear for you, or take action in this matter unless we later agree in writing to re-engage.

We wish you the best and thank you for the opportunity to have been of service.

Sincerely,

______________________________________

[Attorney Name]
[Law Firm Name]

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Sample Small Business Formation Joint Representation Conflict Waiver

Written by Mark Bassingthwaighte, Esq.

{Date}

[Client Name 1]
[Client Name 2]

[Address]

Re: Proposed Formation of [Insert name of proposed entity] (“Company”)

Dear ________________________________,

You have asked me to represent both of you jointly in connection with the formation of the Company, including preparation of organizational documents and addressing initial governance and ownership matters.

Unless otherwise agreed in writing, I will also represent the Company as an entity once formed. You understand that representation of the Company does not create a separate attorney-client relationship with either of you individually beyond the joint representation described here.

Joint representation can be efficient and cost‑effective, but it is permitted only when all clients understand the limits on what I can, and cannot, do if your interests diverge. This letter is intended to ensure that we begin our working relationship with a clear, shared understanding of those limits.

1. Current Alignment of Interests

During our initial discussion, you both indicated that you have reached agreement on the major terms of your new venture. Based on what you shared, it appears you have agreed on matters such as: [Insert agreed‑upon terms: ownership percentages, capital contributions, compensation structure, management roles, etc.]

These understandings form the basis for my ability to represent you jointly at this time.

2. Possibility of Future Disagreements

Even when clients are aligned at the outset, disagreements can arise as documents take shape or as new issues surface. For example, you may not yet have fully resolved: [Insert examples: voting rights, transfer restrictions, buy‑sell terms, dissolution procedures, dispute‑resolution mechanisms, etc.]

If either of you changes your position on an issue, or if an unexpected disagreement emerges, my ethical obligations prevent me from advocating for one of you against the other.

3. Limits on My Role if a Disagreement Arises

If a conflict develops between you, my role becomes limited to:

• Identifying options available to resolve the issue

• Explaining the general pros and cons of each option

• Encouraging each of you to seek independent legal counsel for individualized advice

I cannot negotiate on behalf of one of you against the other, nor can I take sides. If the conflict becomes significant or unmanageable, I may be required to:

• Withdraw from representing both of you; and/or

• Withdraw from representing the Company.

4. No Confidentiality Between Joint Clients

By choosing joint representation, you both understand and agree that:

• Nothing either of you tells me may be kept confidential from the other if it is relevant to the matter.

• Communications with me are not privileged as between the two of you.

• If you want private, confidential advice, you must consult separate counsel.

This is a core feature of joint representation and cannot be waived.

5. Right to Seek Independent Counsel

I am required to advise each of you to consult with independent counsel before deciding whether to consent to this joint representation. Whether you choose to do so is entirely up to you, but you should make this decision with full awareness of the risks and limitations described above.

6. Consent and Next Steps

Please take whatever time you need to review and discuss this letter. I cannot begin work on your behalf until both of you have signed and returned a copy. If you have questions or would like to discuss any part of this before signing, I am happy to do so.

Sincerely,

______________________________________________

[Attorney Name]

CONSENT TO JOINT REPRESENTATION

We have read and understand the conflict‑of‑interest disclosures above. We consent to joint representation of both individuals and the Company as described.

[Client 1] ____________________________________________ Date: ____________________________

[Client 2] ____________________________________________ Date: ____________________________

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Joint Representation of Multiple Clients

Written by Mark Bassingthwaighte, Esq.

Conflict waivers must be tailored to the specific facts and circumstances of each matter. A client’s signature on a standardized generic form, standing alone, does not establish informed consent. To obtain informed consent, you must communicate adequate information about the material risks of the proposed representation and reasonably available alternatives.

This includes discussing and documenting:

• The specific circumstances creating the potential or actual conflict,

• The reasonably foreseeable ways in which the clients’ interests could diverge,

• The potential adverse consequences of joint representation, and

• Available alternatives, including separate representation.

Clients should also be encouraged to seek independent legal advice before consenting and should be given a reasonable opportunity to do so.

Sample Joint Representation Conflict Waiver

[Client A] and [Client B] have asked [Lawyer/Law Firm] to represent them jointly in connection with:

[Full description of the scope of representation]

Based on the information currently available, we have not identified a conflict of interest that would prevent us from undertaking this joint representation. However, because you are separate clients, ethical rules require us to explain the implications of joint representation and obtain your informed consent.

1. Nature of Joint Representation

Although your interests are presently aligned, differences may arise during the course of our representation. By agreeing to joint representation, you acknowledge that:

• We will represent both of you equally and cannot advocate for one of you against the other in this matter,

• We cannot provide advice to one of you that is adverse to the interests of the other, and

• If a disagreement arises between you, our ability to continue representing both of you may be limited or eliminated.

2. Potential Conflicts

Potential conflicts that could arise include, but are not limited to:

[Describe, with specificity, reasonably foreseeable areas of divergence and risk]

These risks may affect our ability to recommend or pursue certain courses of action on behalf of one or both of you.

3. Confidentiality and Information Sharing

In a joint representation, information provided by either of you that is relevant to the representation will generally be shared with the other. Accordingly:

• We will not keep relevant information from one client that is material to the representation of the other.

• Communications between you and us remain privileged as to third parties, but not as between the two of you.

If either of you wish to maintain separate confidences or receive independent advice, you should retain separate counsel.

4. Withdrawal if Conflicts Arise

It is possible that circumstances may arise in which our continued joint representation would adversely affect one of you. Should such a situation occur, we would be required to withdraw from representing both of you, and each of you would need to retain separate, independent counsel. In light of this possibility, we recommend that you consider obtaining independent legal advice to determine whether consenting to joint representation is in your best interests. Whether you choose to do so is entirely your decision.

5. Consent

By signing below, each of you confirms that:

• You have read and understand this agreement,

• You have had the opportunity to ask questions and receive satisfactory answers,

• You understand the risks and alternatives to joint representation, and

• You voluntarily consent to [Lawyer/Law Firm] representing both of you jointly in this matter.

You also understand that you may revoke this consent at any time, subject to applicable ethical rules and the potential consequences described above.

If you have any questions about this agreement or wish to discuss it further, please contact us.

If the foregoing accurately reflects your understanding and agreement, please sign below.

[Signatures]

______________________________________ ____________________

[Name] [Date]

___________________________________________________ ___________________________

[Name] [Date]

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Sample Estate Planning Conflict Waiver

Written by Mark Bassingthwaighte, Esq.

{Date}

[Client Name 1]
[Client Name 2]
[Address]

Re: Joint Representation – Estate Planning

Dear [Client Name 1] and [Client Name 2]:

Thank you for asking me to assist you with your estate planning. As we discussed, married couples and partners are often represented jointly in the estate planning process. Before proceeding, I want to confirm your understanding of the implications of joint representation and obtain your informed consent.

1. Nature of Joint Representation

In a joint representation, I represent both of you equally in connection with your estate planning. While your interests are currently aligned, differences may arise, particularly in situations involving:

• Blended family considerations - potential differences in how assets are allocated between a surviving spouse and children from prior relationships,

• Unequal or separate property - differences in contributions to the marital estate or ownership of premarital or inherited assets,

• Dispositive intent differences - variations in how each of you wishes to distribute assets upon death,

• Control and access to assets - limitations imposed by trusts or other planning tools on a surviving spouse’s ability to use or dispose of property,

• Fiduciary appointments - disagreements regarding who will serve as personal representative, trustee, or agent.

Some estate planning strategies that benefit you collectively may, in certain circumstances, limit flexibility or create differing impacts for one of you individually.

2. Material Risks of Joint Representation

By agreeing to joint representation, you acknowledge and accept the following risks:

• Limited ability to receive individualized advice: I am unable to advise one of you to take a position that is adverse to the other,

• Inability to advocate in a dispute - if a disagreement arises, I cannot represent one of you against the other,

• Potential withdrawal - I may be required to withdraw from representing both of you if a conflict becomes unmanageable,

• Delay and additional cost - if I must withdraw, each of you may need to separately retain new counsel and duplicate some work, and

• Future limitations - my prior joint representation will likely prevent me from being able to represent either of you in future disputes between you or involving your estates.

3. Confidentiality and “No Secrets” Understanding

Effective joint representation requires transparency between clients. Accordingly:

• Information provided by either of you that is material to your estate planning will be shared with the other,

• I will not withhold from one of you information that is relevant to the representation of both, and

• Your communications with me are privileged as to third parties, but not as between the two of you.

If either of you asks me to keep material information from the other, I may be required to:

• Disclose the information to the other client, or

• Withdraw from the representation.

If either or both of you desire complete confidentiality in your communications with counsel, you should retain separate attorneys.

4. Effect of Future Disagreements

If you ultimately disagree about how your estate plans should be structured, I may not be able to continue representing both of you. In that event:

• I may withdraw from representing one or both of you,

• You each may need to retain separate counsel, and

• My prior joint representation will likely limit my ability to represent either of you in a dispute against the other.

5. Alternatives and Independent Counsel

You are not required to proceed with joint representation. Each of you has the option to retain separate legal counsel at any time.

I encourage you to consider whether independent advice would be beneficial before consenting to joint representation. Please take whatever time you reasonably need to consider this decision.

6. Consent to Joint Representation

If you choose to proceed, please confirm your consent by signing below. By doing so, each of you acknowledge that:

• You understand the nature of joint representation,

• You understand the potential risks and conflicts described above,

• You understand the available alternative of separate representation,

• You have had the opportunity to ask questions, and

• You voluntarily consent to my representing both of you jointly.

You may revoke this consent at any time, subject to applicable ethical obligations and the potential consequences described above.

If you have any questions or would like to discuss any aspect of this letter further, please do not hesitate to contact me.

Sincerely,

[Attorney Name]

CONSENT TO JOINT REPRESENTATION

We have read and understand the foregoing. We have had the opportunity to ask questions and to seek independent legal advice. We voluntarily consent to joint representation as described above.

[Client Name 1]

Date: _____________________________

[Client Name 2]

Date: _____________________________

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Sample Vendor Confidentiality and Non-Disclosure Agreement

Written by Mark Bassingthwaighte, Esq.

This Vendor Confidentiality and Non-Disclosure Agreement (“Agreement”) is entered into by and between [Firm Name] (“Firm”) and [Vendor Name] (“Vendor”), including Vendor’s employees, contractors, agents, and subcontractors.

Purpose and Scope

Vendor may provide products or services that require intentional or incidental access to information relating to the Firm’s clients, legal matters, or business operations. The Firm is ethically and legally obligated to protect such information.

1. Definition of Confidential Information

“Confidential Information” includes all non‑public information relating to the Firm, its clients, legal matters, operations, systems, or personnel, whether accessed intentionally or inadvertently. This includes, without limitation:

• Client identities and contact information

• All information relating to client matters or legal representation

• Documents, files, communications, and work product (paper or electronic)

• Information visible or audible during service work

• Firm business operations, financial information, and internal processes

• System configurations, passwords, access credentials, or security tools

2. Vendor Obligations

You agree that you and any employees, agents, or subcontractors under your direction shall:

• Avoid listening to, viewing, accessing, or reading any client communications, documents, or files, whether paper‑based or electronic

• Refrain from attempting to open, browse, or otherwise interact with Firm or client materials not expressly required for your work

• Use only the access, systems, and information explicitly authorized by the Firm

• Keep all Confidential Information strictly confidential and use it solely for the purpose of performing contracted services

• Immediately report any inadvertent exposure to Confidential Information or any suspected security incident

3. Prohibited Conduct

The following actions are strictly prohibited:

• Accessing, reviewing, copying, or disclosing Confidential Information for any reason not authorized by the Firm

• Discussing or sharing Confidential Information with any third party

• Retaining any Firm or client information after services are completed

Any violation is grounds for immediate termination of the business relationship and may result in legal action.

4. Security and Technology Requirements

When performing work on Firm equipment, systems, or premises, you agree to:

• Follow all Firm security instructions and access protocols

• Protect devices and tools from unauthorized access

• Avoid using personal devices or storage media unless expressly permitted

• Maintain commercially reasonable safeguards consistent with industry standards

• Promptly notify the Firm of any actual or suspected unauthorized access, disclosure, or breach involving Confidential Information.

5. Term and Survival

This Agreement applies to all past, present, and future services provided by Vendor; and Vendor’s duty of confidentiality continues indefinitely, including after completion of services or termination of the business relationship.

6. Acknowledgment

Vendor understands that the Firm is bound by professional duties of confidentiality and agrees to cooperate with the Firm in fulfilling those obligations.

By signing below, you acknowledge that you understand and agree to comply with this Agreement and that you will ensure all personnel under your control do the same.

Vendor Signature: _____________________________________________ Date: _____________________

Printed Name / Title: _________________________________________________________________________

Company Name: _______________________________________________________________________________  

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Sample Internal Confidentiality and Information Security Agreement

Written by Mark Bassingthwaighte, Esq.

Confidentiality is fundamental to the attorney‑client relationship and to this firm’s ethical and professional obligations. All attorneys, staff, contract employees, and temporary personnel are collectively responsible for protecting client information at all times. This Agreement outlines the minimum standards required to safeguard client information in all formats and settings.

1. Scope of Confidential Information

For purposes of this Agreement, “Confidential Information” includes all information relating to current, former, or prospective clients, regardless of how it is received, stored, or transmitted. This includes but is not limited to:

• Client identities and contact information.

• Legal matters, strategies, notes, and communications.

• Documents, files, and work product (physical or electronic).

• Financial, medical, or other personal information.

• Information learned through casual conversations, meetings, or internal discussions.

• Information that may be publicly available if learned through firm employment.

2. Duty of Confidentiality

You are required to:

• Always maintain the confidentiality of all client information, unless disclosure is authorized by a supervising attorney or required by law.

• Use Confidential Information solely for purposes of performing your duties for the firm.

• Never discuss client matters with anyone outside the firm, including family members, friends, or acquaintances.

• Limit internal discussions of client matters to individuals with a legitimate need to know.

This duty applies to all attorneys, staff, contractor employees, and temporary personnel.

3. Electronic Communications and Technology Use

You must take reasonable and proactive steps to safeguard Confidential Information when using technology. This includes:

• Using only firm-approved devices, systems, applications, and cloud services when required.

• Using personal devices for firm work only if permitted and configured in accordance with firm policies.

• Protecting passwords, enabling multi‑factor authentication, and never sharing login credentials.

• Avoiding public or unsecured Wi‑Fi unless appropriate safeguards (e.g., VPN) are in place.

• Ensuring screens and devices are not visible to or accessible by unauthorized individuals.

• Never forwarding firm emails or documents to personal accounts unless expressly authorized.

• Using only approved methods for texting or messaging about client matters.

• Never using unapproved cloud storage platforms (e.g., personal Dropbox, Google Drive, iCloud) for firm work.

Technology‑related confidentiality obligations apply whether you are in the office, at home, or working remotely.

4. Remote Work and Offsite Conduct

When working remotely or outside the office, you must:

• Maintain the same level of confidentiality as within the office.

• Conduct calls, video meetings, and discussions in private settings where conversations cannot be overheard.

• Secure physical files, desktops, laptops, and mobile devices from unauthorized access, to include preventing access by family members, roommates, and friends.

• Properly dispose of printed materials (e.g. shredding).

5. Physical File and Workspace Security

You are responsible for:

• Securing files when not in use (e.g., locked offices, drawers, or cabinets).

• Keeping desks and workspaces clear of sensitive materials when unattended.

• Ensuring that any physical transport of files occurs in a secure manner.

• Following firm policies regarding file storage, retention, and destruction.

6. Inadvertent Disclosure and Security Incidents

You must immediately report any actual or suspected:

• Unauthorized access, disclosure, or loss of Confidential Information.

• Misdirected emails, lost devices, or phishing attempts.

• Additional events or irregularities that could place client confidentiality at risk.

Reports must be made promptly to the supervising attorney or designated firm contact so the firm can take appropriate remedial action.

7. Continuing Obligation

Your duty of confidentiality continues:

• After a matter concludes.

• After the attorney‑client relationship ends.

• After your employment or association with the firm ends.

You may not retain, use, or disclose any Confidential Information after leaving the firm. This includes client lists, templates, forms, or any other firm materials unless expressly authorized.

8. Questions and Guidance

If you are uncertain about how to handle information or whether a particular action is appropriate, you must seek guidance from a supervising attorney or firm management before proceeding. Asking questions is expected and helps protect clients and the firm.

9. Acknowledgment and Compliance

By signing below, you acknowledge that:

• You have read and understand this Agreement.

• You agree to comply with its terms and all related firm policies (including technology use, remote‑work, and document‑retention policies).

• You understand that violation of this Agreement may result in disciplinary action, up to and including termination of employment, and may have additional legal or professional consequences.

Signature: ____________________________________ Printed Name: ___________________________________

Date: ___________________

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Sample Joint Notice of Attorney Departure and Client Election Form

Written by Mark Bassingthwaighte, Esq.

[Date]

[Client Name]
[Client Address]
[City, State, Zip]

Re: Your Legal Matter with [Firm Name]

Dear [Client Name],

We are writing together to let you know that [Departing Lawyer Name] will be leaving [Firm Name] effective [Departure Date] to join [New Firm Name]. Because you are an active client, we want to ensure you have clear information, uninterrupted support, and full control over how you would like your matter handled going forward.

Your matter is ongoing, and you have the right to decide who represents you next. You may choose any of the following:

• Continue working with [Departing Lawyer] at their new firm, [New Firm Name].

• Remain with [Firm Name], where another qualified attorney will assume responsibility for your matter.

• Retain a different lawyer or law firm, if that is your preference.

If you would like to stay with [Firm Name], we are ready to continue representing you without interruption. Please let us know and we will introduce you to the attorney who will take over responsibility for your matter.

If you would like to continue with [Departing Lawyer], we will coordinate with you to transfer your file promptly and securely. [Departing Lawyer] will continue practicing at:

[New Firm Name]
[Address]
[Phone], [Email]

If you prefer another lawyer, we will help you transfer your file to the lawyer of your choice. Just let us know where to send it.

There is no wrong choice. You are free to select the option that best serves your needs. To assist with this, we have enclosed an election form and a stamped return envelope. Please return the completed form by [Response Deadline Date]. If we do not hear from you by that date, we will proceed as though you have elected to continue your representation with [Firm Name], and another attorney will be assigned to your matter. (Template note: where called for, the default outcome may be changed to “have elected to have your representation continue with [Departing Lawyer] and we will see that your file is transferred in a prompt and secure manner.”)

Although we will be working from different offices, we remain committed to a smooth transition and to protecting your interests throughout this process. We appreciate the trust you have placed in us. If you have questions or would like to talk through your options, please reach out to either of us.

Finally, if [Firm Name] is holding funds in trust for you, we will handle any remaining balance in accordance with your instructions and all applicable rules. We can also provide a final accounting at your request. Please note that any outstanding invoices remain your responsibility, no matter which counsel you choose. If you have questions about your account, we are here to help.

Sincerely,

_______________________________

[Managing Partner or Authorized Firm Representative Name]
[Firm Name]
[Departing Lawyer Name]

Client Election Form

Please complete and return this section by [Response Deadline Date].

[Client Name]
[Matter]

Please check one:

☐ I elect to continue my representation with [Firm Name].

☐ I elect to be represented by [Departing Attorney Name] and authorize the transfer of my file.

☐ I elect to retain new counsel and authorize the transfer of my file to:

Name: _______________________________ Firm: _______________________________

Email: _______________________________ Phone: _______________________________

Address: ___________________________________

___________________________________

___________________________________

File Transfer Authorization:

☐ I authorize the release of my file as indicated above.

Trust Funds Authorization (if applicable):

☐ Please transfer any remaining trust balance to my new counsel.

☐ Please return any remaining trust balance directly to me.

☐ I acknowledge that any outstanding invoices remain my responsibility, regardless of my choice of counsel.

Signature: ____________________________ Date: __________________________________

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Sample File Closing Checklist

Written by Mark Bassingthwaighte, Esq.

Checklists for Closing Your Practice and Winding Up Your Business

Written by Mark Bassingthwaighte, Esq.

Lawyers may close their practices for many reasons including medical disability, retirement, relocation to another state, or a change in career. Although the specific steps required and the time frame involved can vary significantly depending on the reason for the closure and the nature of the practice, the following checklists address the core issues most lawyers will need to consider.

When circumstances permit, plan for the process to take six to twelve months, and in some cases longer. Obligations to protect client confidences and safeguard client interests often make closing a law practice more complex than closing other types of businesses. Finally, because jurisdictional rules differ, an early review of applicable local rules and ethics opinions and perhaps a call to local bar counsel is strongly recommended.

Closing Your Practice Checklist

Planning, Timing, and Case Assessment

• Develop a realistic timeline for closing your practice and assess the status of all active matters.

• Cease taking on any new matters.

• Complete and close as many active matters as you are able.
  
  

Staff Notification and Transition Support

• Let your most trusted staff know what your plan is as you will need their assistance in implementing it. Additionally, key staff deserve to know your intentions once you know the date you hope to have the transition completed. If possible, give them a certain date and advise them if you are willing to be a reference for them. After all, these folks need to be able to plan for their transition as well.
  
  

Client Notification Regarding Transition of Representation

• Notify all clients on matters you cannot complete. The notice should explain that you are unable to continue representation and that the client must retain new counsel. Advise clients of any relevant deadlines or time limitations affecting their matter. Explain how and where clients may obtain their files and set a reasonable deadline for doing so.
  
  

Client Files, Records, and Retention

• Make a copy of all active client files before turning over the original. Have clients who pick up their files sign a receipt and clients who request a transfer of their files to new counsel sign a written authorization.

• Arrange for the secure long-term storage of closed files, whether physical or digital, and then notify all clients of these arrangements, to include where files will be stored, how they can obtain their file in the future, and what your file retention policy is if this has not been previously communicated. If closed files are to be stored by another attorney or firm, obtain client consent prior to the transfer and provide that attorney’s or firm’s contact information.
  
  

Withdrawing and Court Notification

• Notify the court of your need to withdraw. For matters with pending hearings, depositions, or deadlines, consult with each client regarding next steps. Request continuances, extensions, or rescheduling as appropriate. Provide written confirmation of these actions to opposing counsel and your client. Obtain permission to file a motion and order to withdraw as attorney of record.

• Confirm that your withdrawal is complete. For matters before courts or administrative bodies, select a future date to verify that a substitution of counsel has been filed or that your motion to withdraw has been granted and follow through with that confirmation.
  
  

Trust Accounts, Client Property, and Compliance Obligations

• Close out your trust account after it has been fully audited and reconciled. If trust funds are being transferred to new counsel, issue checks payable to both the client and the new attorney. Notify the bar that the trust account has been closed and retain trust account records in compliance with your jurisdiction’s rules.
  

• Preserve your books and records. In many jurisdictions, RPC 1.15 requires retention of general and trust account records for at least five years following termination of the fiduciary relationship. These records may be maintained in digital format.

• Address client property still in your possession, including original wills, corporate records, unclaimed funds, or other entrusted items.
  
  

Insurance, Bar Notifications, and Professional Obligations

• Review your malpractice policy and contact your carrier in order to understand the options and costs associated with the purchase of an extended reporting endorsement, commonly referred to as a “tail.”

• Notify relevant bar associations and professional organizations.

Winding Up the Business Checklist

Office Space, Utilities, and Physical Assets

• Provide notice of termination for all office leases or rental agreements.

• Arrange for all utilities to be shut off in a timely manner.

• Determine the disposition of furniture, fixtures, equipment, library materials, artwork, and other physical assets.

• Dispose of unused office supplies. Consider donating usable items to schools or charitable organizations.
  
  

Communications, Mail, and Post-Closure Contact

• Cancel your telephone service and arrange to have calls to your office forwarded to your home or other number or consider placing an automated message on your office line that will remain active for at least several months post closure.

• Decide where physical mail and email should be directed after closure, notify the post office, and update all email account settings accordingly.

• Consider setting up an automated reply on email accounts that are to be closed and placing a static page on your website that announces the closure of your practice along with information about where closed files will be stored.
  
  

Technology, Data Security, and Online Presence

• Address confidentiality and file security issues related to computers and other technology. Before selling, donating, or disposing of any device, back up all data you intend to retain and permanently wipe all remaining data from the device.

• Cancel or update all advertisements and legal directory listings, including your website and social media profiles.

• Reduce fraud and identity theft risks by responsibly retiring your online presence, including your firm’s domain name, website, email accounts, online listings, and social media accounts. This link (https://www.themodernfirm.com/retirement-guide-law-firms-website-online-presence) will take you to a helpful resource outlining recommended steps and considerations.
  
  

Vendors, Subscriptions, and Memberships

• Notify all vendors and arrange for the closure of these accounts.

• Cancel all business memberships and subscriptions to include online accounts.
  
  

Financial Accounts, Credit, and Loans

• Meet with your accountant to discuss dissolution of the firm, obtain tax guidance, establish a timeline for final financial statements, and identify required state and federal notifications.

• Meet with any lenders to address repayment of outstanding loans.
  

• Cancel all firm credit cards and then shred them.
  

• Close the operating account once all outstanding receivables have been collected and all outstanding bills have been paid. And then shred any associated debit cards.
  

• Destroy all unused checks, deposit slips, and similar financial interments.
  
  

Business Records and Long-Term Planning

• Determine where and for how long business records must be maintained.

• Consult with your accountant or financial planner regarding retirement plans and rollover options.
  
  

Insurance and Risk Management

• Notify all insurance carriers, including premises liability and workers’ compensation insurers. Obtain guidance regarding conversion or continuation options for health, life, and disability insurance.
  
  

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

A Checklist for Lawyers Who Wish to Share Office Space

Written by Mark Bassingthwaighte, Esq.

Entering into an office sharing arrangement can be quite beneficial for all involved, particularly if all the associated ethical, malpractice, and insurance coverage concerns are responsibly addressed up front. Here’s one reason why. Malpractice policies typically exclude coverage for all claims that arise out of or in connection with any act, error, or omission committed by an attorney with whom an insured shares office space and who is not an insured under the insured’s policy. Stated another way, if your independent office mate gets sued for malpractice and you are named in that suit and were not involved with or even aware of the client who filed that suit, your policy would provide no coverage for this claim. Unfortunately, this is one of the risks that just comes with a decision to share office space. The good news is the risk of having to deal with something like an uncovered claim that can be mitigated. The following checklist can help you get there.

1. Focus on Clear Indicia of Separation to Avoid Becoming a “Firm by Estoppel”

• No common advertising or shared branding! All signage, letterhead, business cards, directory listings, websites, and any other advertising should never make it appear that the lawyers in the shared space are practicing together. This means terms such as “association,” “affiliated,” or “of counsel” should not be used unless those wanting to use such terms intend to hold themselves out as a firm.

• Each separate practice should have a distinct firm name, email domain, logo, phone number (where possible), and web presence.

• Mandate the use of engagement agreements by all that clearly state each lawyer in the shared space operates as an independent law practice.

• Maintain separate trust accounts and operating accounts.
  
  

2. Prioritize Confidentiality and Information Security

Physical Premises

• Maintain separate lockable offices, file cabinets, and storage spaces.

Internal Policies and Procedures

• Prohibit common staff personnel from opening mail, taking detailed messages, receiving or sending faxes and substantive email or text messages in order to avoid the loss of attorney-client privilege.

• Ensure clients cannot overhear privileged discussions by establishing an office wide policy that prohibits the following:

  • • Talking about client matters near or in any public space to include the reception area, conference rooms, and hallways;

    • Leaving client file materials in any shared space such as a conference room, kitchen, or breakroom;

    • Leaving client file materials in places like an unlocked shredding bin, common garbage can, or a shared fax machine;

    • Leaving office doors open when visiting with a client in person or on the phone.

• Prohibit separate practitioners from taking on common clients absent from a formal co-counsel agreement.

• Establish a process for conflict checks and prohibit separate practitioners from taking on adverse parties from absent client consent obtained in advance and in writing.

Technology & Digital Security

• Password protect all computers and mobile devices in accordance with the provisions of a strong password policy.

• No shared networks absent network segmentation, firewalls, and strict access controls.

• Maintain separate email systems, case-management software, cloud storage, and backups.

Reception & Support Staff

• Require signed confidentiality agreements with all staff.

• Train staff on how to avoid cross-disclosure of information and appropriately handle misdirected calls, mail, or other client communications.

• Ensure that shared staff never open mail or have access to any confidential or privileged information.

• Ensure that reception staff never introduce the lawyers as being “with the same firm.”
  
  

3. Have a Written Office Sharing Agreement – Risk Management Issues Worth Addressing Include:

• Establishing who has a say in deciding who can practice in the shared space and under what conditions and who will handle the administrative responsibilities of any shared staff.

• Establishing who will be responsible for the purchase, maintenance, repair, and replacement of shared office equipment and furnishings.

• Setting forth dispute resolution procedures, termination rights, notice periods, and exit obligations.

• Requiring that everyone purchases and maintains an appropriate level of malpractice coverage.
  
  

4. Review applicable state bar ethics opinions on office sharing to make certain the arrangement and all internal policies and procedures are compliant with your ethical obligations. 

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Cybersecurity Checklist for Solo and Small Firm Lawyers

Written by Mark Bassingthwaighte, Esq.

This checklist is intended to help those who have a desire to become more cyber-secure know where to start. It may also be helpful in identifying areas of concern that can, and should, be discussed with IT support personnel. Most importantly, be aware that cybercrime attack vectors will continue to change and evolve as will the sophistication of the attacks. Becoming cyber secure is an ongoing process, not a one and done effort.

Minimum Security Baseline (Core Protections)

☐ Institute a password policy that mandates the use of strong, unique passwords for every application and account that will accept them and store them in a password manager. Strong passwords are defined as, being 22 characters or more in length using a combination of uppercase and lowercase letters, numbers, and special characters. Note: Every account and application in use should have its own unique password, and no password should ever be reused once changed.

☐ Require a password, PIN, or biometric lock on every device used for work.

☐ Enable multi-factor authentication (MFA) wherever possible to make it much harder for attackers to gain access even if a password is stolen. This is particularly important with email, cloud services, banking and financial sites, and practice management systems.

☐ Keep computers, phones, and tablets updated with the latest security patches and operating system updates; and keep all software applications on all devices up to date by promptly installing all security patches as they are released.

☐ Install and maintain reputable antivirus or endpoint security software on all devices used for work.

☐ Mandate that all work-related Internet sessions be encrypted and prohibit the use of unsecured open public Wi-Fi networks. This does mean that remote access to the office network must always occur using a VPN, MiFi, phone tethering, or some other type of encrypted connection.

☐ Ensure that every firm and home office Wi-Fi router is password protected, uses modern encryption (WPA2 or WPA3), and has the default administrator password changed.

☐ Enable automatic screen locking on all computers and mobile devices.

☐ Enable remote wipe capability for all smartphones and laptops in case of loss or theft.

☐ Maintain regular backups of all critical data, periodically do a test restore of a backup, and store the backups in accordance with a disaster recovery plan because floods, fires and ransomware attacks happen. Backups should also be encrypted when taken off site or stored in the cloud. If using a cloud vendor, the vendor should not have access to the decryption key.

☐ Only use secure cloud services that provide encryption and strong authentication protection.

☐ Ensure all lawyers and staff receive basic social engineering awareness training monthly at minimum.

☐ Properly dispose of any device or digital media that has or had any business-related data on it. Don’t overlook personal devices used for work, digital copiers, digital cameras, memory cards, CDs, DVDs, jump drives, backup tapes, etc. All devices and media must be digitally wiped clean and/or physically destroyed. This does mean that devices cannot be given away for personal use, donated, recycled, or sold unless the entire drives have been overwritten. Side note: a restore to factory default settings is not an acceptable alternative to wiping a drive.

Enhanced Cybersecurity Protections (Stronger Security for Higher Risk Profiles)

Devices and Access

☐ Enable full‑disk encryption on all laptops and mobile devices.

☐ Mandate that everyone turns off Bluetooth and file‑sharing features when not in use.

☐ Maintain an inventory of all devices used to access firm data and determine where all office data is stored by creating a network diagram. Make sure this diagram remains current because it will be useful to digital forensic experts in the event of a security breach. In addition, this diagram can and should be used to create a security policy that responsibly addresses every situation where any data resides.

☐ Prohibit the jailbreaking of any mobile device that will be used for work because jailbreaking makes the device far more susceptible to a cyberattack. Jailbreaking is defined as modifying the operating system from its original state.

☐ Restrict access to firm systems so that only authorized users can log in.

☐ Use separate user accounts for each individual rather than shared logins.

☐ Limit or avoid using personal devices for firm work or ensure they meet firm security standards.

☐ Never allow a non-employee to have access to your network absent appropriate oversight. In a similar vein, immediately cut off all avenues of access to the network for anyone who has been terminated. Terminated individuals should never have access to any office computer or network plug absent a trusted escort, even if their stated intent is to only download personal files.

☐ Remove unused and unnecessary software and applications from all devices.

Network Security (Office and Home)

☐ Keep router firmware updated and periodically review router security settings.

☐ In order to prevent unauthorized access to your firm’s confidential data, create a separate Wi-Fi network for guests and the use of personal devices.

☐ Disable automatic connections to unknown wireless networks on all devices.

☐ Mandate the use of a Virtual Private Network (VPN) when anyone is working remotely or traveling.

☐ Keep your server in a locked room because physical security matters!

☐ Check your internal and Internet-facing network security at least annually to make sure your network is secure. This can be done by having a vulnerability assessment or penetration test done.

Cloud Storage and Online Services

☐ Confirm cloud providers encrypt data in transit and at rest. If they don’t, you should encrypt your data before placing it in the cloud. Just make certain you properly secure your encryption key, so you never lose it – think password manager.

☐ Review data access permissions to ensure only authorized users can view client files and remember to remove access when someone no longer needs it or departs the firm.

☐ Enable activity alerts or login notifications for important accounts.

☐ Conduct periodic reviews of all third‑party applications connected to your cloud accounts to ensure that only essential applications remain in use.

Email and Communications Security

☐ Use spam and phishing filtering tools for email.

☐ Avoid sending sensitive information through unencrypted email when secure alternatives are available, such as the use of a client portal.

Use of Artificial Intelligence and Generative AI Tools

☐ Avoid entering confidential or privileged client information into public generative AI tools unless the tool is approved and secure.

☐ Understand how AI tools store, process, or train on submitted data before using them.

☐ Review AI-generated output carefully for accuracy and reliability.

☐ Establish firm guidelines for when and how AI tools may be used in legal work.

☐ Confirm whether AI vendors retain or reuse prompts and uploaded data.

Vendor & Third-Party Management

☐ Avoid free or consumer-grade tools for storing or transmitting client data.

☐ Vet third-party vendors (cloud storage, billing software, virtual assistants) for cybersecurity compliance.

☐ Ensure vendors sign confidentiality or data protection agreements.

☐ Limit third-party access to client data when possible.

Public Computers and Shared Devices

☐ If at all possible, never access client files or firm systems from public computers.

☐ If public access is unavoidable, use a private browsing window, avoid saving credentials, and log out of all accounts afterward.

☐ Do not download or store client documents on shared or public computers.

Incident Response and Recovery

☐ Develop a basic incident response plan outlining what to do if systems are compromised.

☐ Know who to contact for IT support and cybersecurity assistance in an emergency.

☐ Establish procedures for notifying clients or authorities if a breach occurs.

☐ Periodically test backup restoration and recovery procedures.

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Cyber Incident Response Quick Card

Written by Mark Bassingthwaighte, Esq.

What To Do in the First 24 Hours After a Suspected Cyber Incident

Cyber incidents often move quickly. The actions taken in the first hours after discovering a breach can significantly affect the outcome.

Step 1 — Stop the Spread

☐ Disconnect affected computers or devices from the network and internet.

☐ Do not immediately shut down systems unless directed by IT or forensic professionals.

☐ Preserve evidence by avoiding unnecessary changes to affected devices.

☐ Do not wipe or reimage devices until instructed

Step 2 — Contact the Right People Immediately

☐ Notify your IT provider or cybersecurity specialist.

☐ Contact your cyber liability insurance carrier if coverage exists.

☐ Notify firm leadership or partners.

☐ Consider contacting outside cybersecurity counsel if appropriate.

Step 3 — Identify What May Be Affected

Work with IT professionals to determine:

☐ What systems were accessed.

☐ Whether email accounts were compromised.

☐ Whether client files or confidential information may have been accessed.

☐ Whether financial systems or trust accounts were affected.

Step 4 — Secure Financial Accounts

☐ Alert your bank immediately if there is any risk of wire transfer fraud or trust account compromise.

☐ Review recent financial transactions for suspicious activity.

Step 5 — Change Credentials

☐ Reset passwords for compromised accounts.

☐ Enable multi-factor authentication if it is not already in place.

Step 6 — Evaluate Notification Obligations

Work with appropriate advisors to determine whether you must notify:

☐ Clients

☐ Banks or financial institutions

☐ Law enforcement

☐ Regulatory authorities or data breach regulators

(Note that notification obligations vary by jurisdiction and circumstances.)

Step 7 — Begin Recovery

☐ Restore systems from verified clean secure backups if necessary.

☐ Conduct a security review to determine how the breach occurred.

☐ Update security controls and procedures to prevent recurrence.

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Conflict of Interest Name Search Toolkit

Written by Mark Bassingthwaighte, Esq.

I. The Overview

This toolkit provides a two-tiered conflict search system:

• Quick Check (Intake Stage): Fast screening to avoid obvious conflicts before any substantive discussion occurs

• Enhanced Screening (Pre-Engagement Stage): A deeper, structured review before accepting representation

The goal is to reduce risk without creating unnecessary friction.

Core Principles

1. Search early and search often - at first contact (before giving any substantive advice), before confirming the engagement, and whenever new parties appear.

2. Garbage in = garbage out - because a conflict system is only as good as the information captured.

3. Think relationships, not just names - because conflicts often arise from affiliations, not direct parties.

4. When in doubt, escalate, don’t ignore - because ambiguity is where malpractice claims based on a conflict of interest live.

II. The Two-Tier Conflict Search System

1. The Quick Check (At Intake)

Purpose: To avoid obvious conflicts before receiving confidential information.

Minimum Steps:

• Obtain the full name of the prospective client

• Ask: “Who is the matter against?”

• Then run a basic database search for:

  • Client name

  • Adverse party name(s)

If a Match Appears do not proceed with substantive intake, escalate for attorney review.

2. The Enhanced Screening (Pre-Engagement)

Purpose: To identify less obvious or indirect conflicts.

Steps:

• Capture all relevant names (see Section III)

• Run expanded search across:

• • Current clients

  • Former clients

  • Open and closed matters

• Evaluate:

  • Direct adversity

  • Substantial relationship

  • Positional conflicts (if applicable)

  • Personal interests of the lawyer/s

     

• Document decision

  • Cleared / Waivable / Non-waivable

III. A Core Resource - The “Names to Capture” Master List

This is the most important part of the system.

A. Individuals

• Full legal name (include middle names)

• Common misspellings

• Former names (maiden, prior legal names)

• Nicknames / aliases

And Family Relationships Where Called For

• Spouses / Partners / Former spouses / Former partners

• Immediate family members relevant to the representation – e.g. Any (biological, adopted, foster, or step) Parents, Children, or Siblings

• Grandparents or other involved relatives

B. Business Entities

• Full legal entity name (e.g., “ABC Holdings, LLC”)

• Trade names / DBAs

• Parent companies

• Subsidiaries / Key affiliates / Parent companies

• Successor or predecessor entities (mergers, dissolutions, name changes)
  

And Key People

• Directors / Officers / Managers

• Owners / Partners / Members

• Key employees involved in the matter

C. Related / Interested Parties

• Opposing parties (all known)

• Co-parties / Co-defendants

• Potential third-party defendants

• Witnesses (lay and expert, if known)

• Experts (if known)

• Victim(s)
  

D. Insurance & Financial Interests

• Insurance carriers

• Adjusters

• Lenders / Secured parties
  

E. Your Firm

• All lawyers

• Spouses, parents, siblings, in laws of firm lawyers

• All employees, including contract attorneys, temps, and interns

• Any business in which a firm member has an ownership interest or serves as an officer or director

• Prior employers of firm lawyers

• Key vendors and service providers (IT, accounting, investigators, marketing)

F. Estate / Probate (if applicable)

• Testator

• Decedent

• Trustee / Guardian / Conservator

• Personal representative

• Spouse / Children / Heirs / Beneficiaries

• Disinherited individuals (critical risk area)

G. Real Estate (if applicable)

• Buyer(s) / Seller(s)

• Brokers / Lenders / Title insurer

• Property address / Parcel number

H. Bankruptcy (if applicable)

• Debtor

• Spouse

• Creditors / Secured lenders and lienholders

• Business partners

• Family members with financial ties

• Business entities (owned, managed, or controlled by the debtor)
  
  

IV. Practicalities on How to Search

A. Where to Search

• Practice management system (Clio, MyCase, Filevine, Practice Panther, etc.)

• Firm matter list (open + closed)

• Contact database

• Email system (recommended but optional)

B. What to Search

• Search every known name: legal names, nicknames, aliases, former names, maiden names, trade names, DBAs.

• Search broadly: individuals, entities, relationships, and anyone with a meaningful role in the matter.

• Search your firm: lawyers, staff, contract attorneys, and anyone with access to confidential information.

C. Smart Search Techniques

• Search “John A. Smith” → “John Smith” → “Smith”

• Search “ABC Holdings, LLC” → “ABC Holdings” → “ABC”

• Watch for common names + overlapping facts

D. Always Document Your Process

• Maintain a record of what you searched, where you searched, and what the results were.

V. Basic Decision Framework for Conflict Evaluation

After identifying a potential match ask:

1. Is there direct adversity?

• Yes → likely conflict

• No → continue

• Yes → likely conflict

• No → continue

2. If the name hit is a former client, is this new client’s matter the same as or substantially related to the former client’s matter?

3. Is confidential information at risk?

• Yes → high concern

• No → continue

4. Can the conflict be waived?

• If yes, obtain informed consent in writing as long as you reasonably believe you can provide competent and diligent representation under the circumstances.

• If not, decline the representation and document accordingly.

VI. Information to Track in a Conflict Database

Required Fields:

• Client name

• Matter name/description (critical information for context in future searches)

• Matter number

• Status (current/former)

• Adverse parties

• Related parties

• Responsible attorney

• Open/close date

Strongly Recommended:

• Alternate names / aliases

• Entity relationships (parent/subsidiary)

• Notes on conflict waivers

• Notes on relationships between parties

VII. The Process in Real Time

Step 1: Staff Intake

• Capture minimum names

• Run Quick Check
  

Step 2: Attorney Review

• If clear → proceed to full intake

• If unclear → pause and investigate

Step 3: Pre-Engagement

• Run Enhanced Screening

• Document decision

Step 4: Engagement Letter Issued

• Only after conflict clearance

VIII. Ongoing Monitoring

Conflicts are not static.

Re-check when:

• New parties are added

• Matter scope changes

• Lateral hires join firm

• Firm takes on new major client

IX. Practice Tips

• Remember to track information about individuals who never get past the intake stage (prospective clients) if any confidential information was shared.

• Never only rely on someone’s memory. In other words, this process should never be viewed as optional.

• Treat the conflict checking process as a risk management tool, not admin work.

• When something “feels off,” it usually is - slow down and think it through.
  
  

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.

Checklist for Reporting a Malpractice Claim

Written by Mark Bassingthwaighte, Esq.

Prompt, accurate reporting of claims and potential claims is one of the most important responsibilities under a lawyers’ professional liability policy. Delayed reporting, incomplete notice, or attempts to handle matters privately can create serious coverage problems. Should you find yourself facing a situation of concern and are hesitant to reach out to your insurer, the following checklist of things to keep in mind may help you decide if the time to report has arrived.

Important Note: Always review your specific policy language and follow your carrier’s reporting instructions because policies differ.

1. What to Report

Report all claims and all potential claims, even if you believe the matter lacks merit.

A “claim” is often broadly defined and may include:

• A written or verbal demand for money, damages, or services

• A demand letter alleging malpractice or wrongdoing

• Service of a lawsuit or arbitration demand

• A grievance or disciplinary complaint, if covered or potentially relevant

• A request to toll limitations periods or preserve rights

• Any formal allegation of professional error

A “potential claim” may arise whenever you know, or reasonably should know, of an act, error, omission, or circumstance that could lead to a claim.

Common examples include:

• Missed statutes of limitation or filing deadlines

• Failure to calendar hearings or deadlines

• Conflict of interest issues

• Settlement authority disputes

• Failure to name proper parties

• Dismissal for lack of prosecution

• Missed transactional deadlines

• Drafting errors in contracts, trusts, wills, or corporate documents

Best Practice: If you are asking yourself whether something should be reported, it usually should be.

2. When to Report

Malpractice policies generally require timely, if not immediate, notice of all claims and potential claims, regardless of the merits of the allegations. Because these policies are claims-made and reported policies, notice is what triggers coverage, not the underlying act, error, or omission.

Do not wait for:

• A lawsuit to be filed

• Damages to be fully known

• The client to become angry

• The matter to “blow over”

• You to complete your own investigation

Rule of Thumb: Report immediately or as soon as practicable after awareness.

3. How to Report

Follow the reporting procedure in your policy exactly. Many policies require written notice to a specific address, portal, or claims department.

Include basic facts such as:

• Lawyer and firm name

• Client name

• Matter name/file number

• Date you first became aware of the issue

• Description of the alleged or potential error

• Key deadlines or dates involved

• Current status of the underlying matter

• Any demand letter, complaint, or correspondence received

Keep the report factual, concise, and professional.

Tip: Save proof of submission and keep a copy of everything sent.

4. Why Prompt Reporting Matters

Failure to report timely can result in:

• Denial of coverage

• The issuance of a reservation of rights letter

• A declaratory judgment action to avoid coverage

• Increased underwriting scrutiny on future applications

• Possible rescission issues in extreme circumstances involving nondisclosure or misrepresentation

Even a defensible claim can become far more expensive if reporting obligations are missed.

5. Do Not Do These Things Without Carrier Consent

Unless specifically authorized by your insurer:

• Do not admit liability

• Do not promise or make any payment

• Do not settle directly with the client

• Do not waive fees as part of a side resolution without advice

• Do not incur any defense expenses expecting reimbursement

• Do not alter or “clean up” the file

• Do not sign a tolling agreement

• Do not agree to arbitration

Trying to fix a claim quietly can create larger legal and coverage problems.

6. Final Thought

Early reporting is usually the safest and smartest decision. Insurers have seen these situations before and can often help contain problems before they become claims of greater consequence. 

Mark Bassingthwaighte, Esq., serves as Risk Manager at ALPS, a leading provider of insurance and risk management solutions for law firms. Since joining ALPS in 1998, Mark has worked with more than 1200 law firms nationwide, helping attorneys identify vulnerabilities, strengthen firm operations, and reduce professional liability risks. He has presented over 700 continuing legal education (CLE) seminars across the United States and written extensively on the topics of risk management, legal ethics, and cyber security. A trusted voice in the legal community, Mark is a member of the State Bar of Montana and the American Bar Association and holds a J.D. from Drake University Law School. His mission is to help attorneys build safer, more resilient practices in a rapidly evolving legal environment.

NOTE: This material is intended as only an example which you may use in developing your own form. It is not considered legal advice and as always, you will need to do your own research to make your own conclusions regarding the laws and ethical opinions of your jurisdiction. In no event will ALPS be liable for any direct, indirect, or consequential damages resulting from the use of this material.